Mark James Thornton-Smith

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • McHardy Private Wealth Limited

    FRN 469955

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 30 Jan 2023)
    • [FCA CF] Functions requiring qualifications (since 11 Jan 2021)
    • [FCA CF] Client dealing (since 11 Jan 2021)
  • Seven Investment Management LLP (no longer approved here)

    FRN 589124

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Dec 2020)
    • CF30 Customer (6 Dec 2018 to 8 Dec 2019)
  • 7IM Investment and Retirement Solutions Limited (no longer approved here)

    FRN 787394

    • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
  • LIFT-Financial Ltd (no longer approved here)

    FRN 471394

    • CF30 Customer (3 Jun 2013 to 22 Jun 2015)

Recent activity

Updates to this individual's record on the FCA register.

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